the borrowed securities, only in the portion not exceeding the value of the collateral; 2. payables under the pledged assets; 3. payable for a client account; 4. payable under a securities repurchase
pledged securities; 3. payable for client account; 4. payable under securities repurchase agreement; (d) other liabilities as stipulated by the Notification of the SEC Office. (7) “ risk haircuts ” means
collateral pledged by the client for its exposure to derivatives according to rate or value stipulated by the SEC Office. Clause 3 Maintenance of the financial condition of the derivatives broker shall be in
securities company ; “ collateral ” means the total sum of the collateral pledged by the client for its exposure to derivatives according to the rate or value stipulated by the Notification of the SEC Office
pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3
ถือใบสำคัญแสดงสิทธิอนุพันธ์ มีสิทธิจะได้รับ (๔) “ใบสำคัญแสดงสิทธิอนุพันธ์ที่มีทรัพย์สินเป็นประกันเต็มจำนวน” (fully - collateralized derivatives warrant) หมายความว่า ใบสำคัญแสดงสิทธิอนุพันธ์ประเภทที่ผู้
include receivable of securities trading by cash, under margin loans and a pledged asset receivable, i.e. the cash deposited as collateral with a securities lending creditor or the securities depository
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...